Canadian Securities Matters - Q3 2023

This edition provides a summary of newly effective and forthcoming regulatory matters in Canada in the quarter ended September 30, 2023.

Canadian securities: New guidance

• OSC Rule 52-503 Exemption from Disclosure of a Specified Financial Measure
  
• CSA Staff Notice 81-336 Guidance on Crypto Asset Investment Funds That Are Reporting Issuers
  
• Joint Canadian Securities Administrators / Canadian Investment Regulatory Organization -Staff Notice 31-363 Client Focused Reforms: Review of Registrants' Conflicts of Interest Practices and Additional Guidance
  
• OSC Staff Notice 33-755 -Compliance and Registrant Regulation Branch -Summary Report for Dealers, Advisers and Investment Fund Managers 
  
• Extension to Ontario instrument 81-508 Temporary Exemptions from the OEO trailer ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers 
  
• OSC Staff Notice 81-734 -Summary Report for Investment Fund and Structured Product Issuers 
  
• Designation of Term CORRA as a Designated Interest Rate Benchmark and CanDeal Benchmark Administration Services Inc. (CBAS) as its Designated Benchmark Administrator 
  

Canadian securities: Proposed guidance

• CSA Staff Notice 24-319 Regarding National Instrument 24-101 Institutional Trade Matching and Settlement -Update and Staff Recommendation